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Detailed Report
DANIEL NAHUM FINN
DANIEL N FINN
CRD#: 3018498
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 112 Worcester Street
Wellesley, MA 02481
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1998 - 2008 (9 years)
License(s)

State Registrations

B
Alabama 2/10/2023
B
Montana 5/18/2021
B
Alaska 4/18/2023
B
Nebraska 7/1/2010
B
Arizona 6/5/2014
B
Nevada 6/1/2009
B
California 6/1/2009
B
New Hampshire 1/22/2016
IA
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 6/1/2009
B
New York 6/1/2009
B
Connecticut 6/1/2009
B
North Carolina 9/28/2021
B
Delaware 10/24/2017
B
Ohio 6/5/2014
B
District of Columbia 1/8/2019
B
Pennsylvania 6/1/2009
B
Florida 6/1/2009
B
Rhode Island 6/5/2014
B
Georgia 2/2/2010
B
South Carolina 6/1/2009
B
Hawaii 9/13/2023
B
Tennessee 9/6/2018
B
Illinois 6/1/2009
B
Texas 6/1/2009
B
Kentucky 7/26/2017
IA
Texas 6/1/2009
B
Louisiana 1/3/2020
B
Vermont 10/5/2009
B
Maine 6/3/2014
B
Virginia 6/1/2009
B
Maryland 6/1/2009
B
Washington 7/3/2019
B
Massachusetts 6/1/2009
B
Wisconsin 1/3/2020
B
Michigan 6/5/2014
B
Wyoming 2/28/2025
B
Minnesota 9/13/2023

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
112 Worcester Street, Wellesley, MA 02481
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
112 Worcester Street, Wellesley, MA 02481
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/05/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WELLESLEY, MA
B
 03/14/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WELLESLEY, MA
B
 08/26/1998 - 03/27/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BOSTON, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.